Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Private Equity

SEC Tags Private Equity Group for Accelerated Fees

Litigation, Private Equity The SEC entered into an agreed settlement with a private equity group for receiving accelerated fees without the consent of all necessary parties prior to the commitment of capital. The SEC alleged the private equity group typically entered into agreements with portfolio companies, pursuant to which it received periodic fees in exchange for performing consulting […] Read more →

by   |   July 3, 2018

SEC Charges 13 Private Fund Advisers for Failure to File Form PF

Litigation, Private Equity The SEC announced settlements with 13 registered private fund investment advisers who repeatedly failed to provide required information that the agency uses to monitor risk. In... Read more →

by   |   June 2, 2018

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SEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices

Broker-Dealer, Employment, Investment Advisers, Municipal Advisors, Private Equity The SEC Office of Minority and Women Inclusion, or OMWI, invited entities regulated by the SEC to submit a Diversity Assessment Report. Entities regulated by the SEC include... Read more →

by   |   January 25, 2018

SEC Charges Platinum Equity for Misallocation of Broken Deal Expenses

M&A, Private Equity The SEC announced a settled action against Beverly Hills-based investment adviser, Platinum Equity Advisors, LLC, for charging three of its private equity fund clients with about... Read more →

by   |   September 21, 2017